specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for

appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant

services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each

relating to the outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed

companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for

application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during

securities business license in the category of investment advisory service or a securities business license type C , as the case may be, the derivatives business license so issued shall become effective when

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the